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1600 Broadway 4Th Floor, Denver, CO 80202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-09-26 |
| CO | RA | APPROVED | 2023-09-26 |
| MD | RA | APPROVED | 2023-09-26 |
| OK | RA | APPROVED | 2023-09-26 |
| WA | RA | APPROVED | 2023-09-26 |
| TX | RA | APPROVED | 2023-09-25 |
Branch Locations
5601 Granite Parkway Suite/Floor 1300, Plano, TX 75024 • United States
One Williams Center Plaza Southeast, Tulsa, OK 74102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-09-25 |
Branch Locations
5601 Granite Parkway Stes. 400 & 1300, Plano, TX 75024 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Compass Bank | Birmingham | AL | 09/2018 | 09/2020 |
| Bbva Securities, Inc. | Dallas | TX | 09/2018 | 09/2020 |
| Bank Of America, N.A. | Frisco | TX | 09/2016 | 09/2018 |
| Merrill Lynch, Pierce, Fenner, And Smith Incorporated | Frisco | TX | 09/2016 | 09/2018 |
| Citigroup Global Markets Inc | Dallas | TX | 03/2013 | 09/2016 |
| Bbva Wealth Solutions Inc | Dallas | TX | 10/2018 | 09/2020 |
| Bbva Compass Insurance Agency, Inc. | Austin | TX | 01/2019 | 09/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Frisco | TX | 09/2020 | 09/2023 |
| Bank Of America, N.A. | Frisco | TX | 09/2020 | 09/2023 |
| Bok Financial Securities, Inc. | Dallas | TX | 09/2023 | Present |
| Bokf, Na | Dallas | TX | 09/2023 | Present |
| Bok Financial Private Wealth, Inc. | Dallas | TX | 09/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-06-21 |
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